NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimants Hillcrest Financial Corporation Ephram Pollack 97-03021 Name of Respondents Richard Singer Adam Sean Goldstein REPRESENTATION For Claimants Hillcrest Financial Corporation ("Hillcrest") and Ephram Pollack ("Pollack") (collectively "Claimants") appeared Michael Present, Esq., of the law offices of Sexier & Warmflash, P.C., located in New York, New Y

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Thomas W. Arnett and Patricia E. Arnett, (Claimants) vs. Texas Capital Securities, Inc., Texas Capital Securities Management Co., Inc., Reckling and Associates and Charlie Adams, (Respondents). Case Number: 97-03020 Hearing Site: Houston, Texas REPRESENTATION OF PARTIES Claimants, Thomas W. Amett and Patricia E. Amett ("Arnett") , hereinafter collectively referred to as "Claimants

NASD Regulation, Inc. Award NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant James L. Cooper and 97-03018 Name of Respondents Chatfield Dean & Co., Wayne Babst, Norman Farra, Sanfbrd Greenberg, Robert L. Lemon, Bernard R. O'Donnell, Scott W. Carothers, and Steven H. Carolus REPRESENTATION OF PARTIES James L. Cooper ("Claimant") was represented by Barry D. Estell,

"MfiY.17,1999 3=05PM ' NO.209 P.8 AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between + Names of William F, and Vickie L. Tinsley 97-03015 Names of Respondents GKN Securities Corp. Irving Ricky Edelstein Victor Humberto Palonuno Martin Schaffer Michael David Rich REPRESENTATION For Claimants: Michel R. Casey, Esq. of Casey and Molchan, Fort Lauderdale, Florida, For Respondents GKN Securities Corp. ("GKN")

* M/3Q/9S SON 11:09 FAl NASD REGULATION 21002 NATIONAL ASSOCIATION OF SECURITIES DEALERS THOMAS E. ROTH, CASE NO-: 97-03014 Claimant, STIPULATED NASD AWARD v. EURO-ATLANTIC SECURITIES, INC., NEIL BRAUNER and DAVID MELILLO, Respondents, REPRESENTATION For Claimant: Scott J. Link and Tracy L. Gerber of Ackerman, Link & Sartory. P.A. For Respondent: Neil Brauner - Darren Lampert of Lampert & Lampert CASE INFORMATION Statement of Cla

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Rodger F. Smith (Claimant) v. Norfolk Securities Corporation a/k/a Cressida Capital Corporation, Ian Hosang, Oliver Hosang, and Brent Calderone (Respondents) Case Number: 97-03008 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member and Associated Persons. REPRESENTATION OF PARTIES Claimant Rodger F. Smith ("Smith") hereinafter referred to as "Claimant": Frank

JM/06/98 MON 14:41 FAI NA3U KKtJULATlON NASD Regulation, Inc., Award In the Matter of Arbitration Between Rauscher Pierce Refsnes, Inc., Claimant, and No. 97-03005 Mark H. Lindsey, Respondent. REPRESENTATION OF PARTIES Claimant, Rauscher Pierce Refsnes, Inc. ("Rauscher Fierce,") was represented by GinaK. Culpepper. Esquire of Munsch, Hardt, Kopf, Hair & Dinan, P.C,, located in Dallas Texas. Respondent, Mark H- Lindsey ("Lindsey,") was repres

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Gerald Donnelly and Jason Schiffman, Claimants vs. American Fronteer Financial Corporation, Respondent. Case Number: 00-02047 Hearing Site: San Francisco, California REPRESENTATION OF PARTIES Claimant, Jason Schiffman, hereinafter referred to as "Claimant": Rodney A. Marraccini, Esq., Walnut Creek, California Respondent, American Fronteer Financial Corporation ("American F

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC, CASE: 97-03004 Michael & Odessa Ohree, claimants vs. Robert Henderson, Jr., Ameena Ali and Delta Equity Services Corporation, respondents. ATTORNEYS; Claimants appeared Pro Se, Miratnar, FL. Respondents appeared Pro SB, through Chief Compliance Officer, Richard Balleau, Bolton, MA. DATE FILED: June 17, 1997. CASE SUMMARY: Claimants alleged breach of contract, conce

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECTJRITEES DEALERS REGULATION. INC. CASE: 97-03003 Robert E. Goodson, claimant v. Prudential Securities Inc and Roger Emblen, respondents. ATTORNEYS: Claimant appeared pro se - Aurora, CO. For respondents appeared Norman L. Ashkenas, Esq. - New York, NY. DATE FILED: 6/17/97 CASE SUMMARY: Claimant alleged omissions and unsuitable investments in aggressive stock. Claim Data Award Data Claim: $2,65